James A. Barnes

NAVY FEDERAL INVESTMENT SERVICES

Pensacola, FL 32526

Some features on this profile are disabled

CRD#: 6164863

Professional summary

James A Barnes, AIF®, CFP®, who also goes by Andy Barnes, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Pensacola, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 11 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy Barnes

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Humane Society of Pensacola, FL - Board Member - Date started: March, 2019. Non-Investment Related, 2 hours per month during Non trading hours, Attend Board Meetings Real Estate/Rental Property - Pensacola, FL - 8/2022 - 1 hour per month during non trading hours. Active Owner / Landlord

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Barnes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James A Barnes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

January 4, 2017 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 5550 Heritage Oaks Drive, Pensacola, FL 32526

RIA

CRD#: 138459

Pensacola, FL

Current

March 28, 2013 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 5550 Heritage Oaks Drive, Pensacola, FL 32526

RIA

CRD#: 138459

Pensacola, FL

Past

February 9, 2015 - January 4, 2017

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA

CRD#: 144244

PENSACOLA, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(3/25/2015)

IAR

Alabama
(3/11/2022)

Arizona
(3/25/2015)

IAR

Arizona
(3/24/2022)

Arkansas
(10/2/2015)

IAR

Arkansas
(7/19/2023)

California
(3/25/2015)

IAR

California
(3/11/2022)

Colorado
(3/25/2015)

Connecticut
(3/25/2015)

IAR

Connecticut
(3/11/2022)

Delaware
(9/9/2015)

IAR

Delaware
(3/11/2022)

District of Columbia
(3/25/2015)

Florida
(1/6/2015)

IAR

Florida
(1/4/2017)

Georgia
(3/25/2015)

IAR

Georgia
(3/14/2022)

Hawaii
(6/30/2015)

IAR

Hawaii
(3/11/2022)

Idaho
(9/9/2015)

Illinois
(4/14/2015)

IAR

Illinois
(3/11/2022)

Indiana
(5/25/2017)

IAR

Indiana
(3/11/2022)

Iowa
(9/9/2015)

Kansas
(2/15/2019)

IAR

Kansas
(3/11/2022)

Kentucky
(3/25/2015)

IAR

Kentucky
(3/11/2022)

Louisiana
(9/9/2015)

IAR

Louisiana
(3/11/2022)

Maine
(4/30/2015)

IAR

Maine
(3/11/2022)

Maryland
(3/25/2015)

IAR

Maryland
(7/14/2023)

Massachusetts
(6/19/2015)

IAR

Massachusetts
(4/25/2022)

Michigan
(5/12/2015)

IAR

Michigan
(3/11/2022)

Minnesota
(4/23/2015)

IAR

Minnesota
(3/11/2022)

Mississippi
(9/9/2015)

IAR

Mississippi
(3/11/2022)

Missouri
(11/8/2019)

IAR

Missouri
(3/11/2022)

Montana
(5/22/2017)

IAR

Montana
(3/11/2022)

Nebraska
(7/8/2016)

Nevada
(6/11/2015)

IAR

Nevada
(3/21/2022)

New Hampshire
(11/9/2015)

New Jersey
(9/9/2015)

IAR

New Jersey
(3/11/2022)

New Mexico
(9/9/2015)

IAR

New Mexico
(3/14/2022)

New York
(5/19/2015)

IAR

New York
(3/11/2022)

North Carolina
(3/26/2015)

IAR

North Carolina
(3/11/2022)

Ohio
(9/9/2015)

IAR

Ohio
(3/14/2022)

Oklahoma
(4/16/2015)

IAR

Oklahoma
(4/19/2022)

Oregon
(7/15/2015)

IAR

Oregon
(3/11/2022)

Pennsylvania
(3/25/2015)

IAR

Pennsylvania
(3/11/2022)

Rhode Island
(9/9/2015)

South Carolina
(3/25/2015)

IAR

South Carolina
(3/11/2022)

South Dakota
(12/7/2016)

Tennessee
(9/9/2015)

Texas
(3/25/2015)

IAR

Texas
(7/14/2023)

Utah
(4/28/2015)

Virginia
(3/25/2015)

IAR

Virginia
(3/11/2022)

Washington
(3/25/2015)

IAR

Washington
(4/19/2022)

West Virginia
(2/16/2017)

IAR

West Virginia
(3/6/2017)

Wisconsin
(1/26/2016)

IAR

Wisconsin
(3/11/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/16/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2014

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 3/27/2013

Assistant Representative-Order Processing Qualification Exam

SRO Registrations

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1007 Electric Ave, Vienna, VA 22180

Mailing Address

1007 Electric Ave, Vienna, VA 22180

Phone number

(877) 221-8108

Established

Virginia since 09/06/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

176

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NAVY FEDERAL FINANCIAL GROUP	OWNER
ROSSON, TIMOTHY DAVID	FINOP / PRINCIPAL FINANACIAL OFFICER	7152744
WEISBERG, STEVEN LESLIE	CHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS	6268061
YOUNG, DIANE	CHIEF OPERATING OFFICER	3098010

Regulatory assets under management

Total Number of Accounts	7,472
AUM (Assets Under Management)	$ 1,713,608,579

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Richard Sechler

ALLSTATE FINANCIAL SERVICES, LLC

LINCOLN, NE

Paul Toohey

TCFG INVESTMENT ADVISORS, LLC

IAR

Anaheim Hills, CA

Minh Pham

NYLIFE SECURITIES LLC

Lafayette, LA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James A Barnes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James A Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

NAVY FEDERAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2014

Series 11

Date: 3/27/2013

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors